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CB

Carl-johan Berg

CREATIS CAPITAL LLC
Cape Elizabeth, ME 04107
Some features on this profile are disabled
CRD#: 5729152
CB

Professional summary

Carl-johan Berg, who also goes by Carl Johan Berg, is a registered financial professional currently at CREATIS CAPITAL LLC located in Cape Elizabeth, Maine.

Carl-johan is registered as a RR (Registered Representative) and started their career in finance in 2009. Carl-johan has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carl Johan Berg

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carl-johan Berg's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 17, 2017 - Present

CREATIS CAPITAL LLC

Office #1: 23 Salt Spray Lane, Cape Elizabeth, ME 04107
BD
CRD#: 131986
Cape Elizabeth, ME
Past

August 9, 2012 - November 21, 2016

TOR BROKERAGE LLC

BD
CRD#: 135274
NORTH BERGEN, NJ
Past

November 26, 2009 - January 2, 2013

SCARSDALE EQUITIES LLC

BD
CRD#: 134602
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/17/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/11/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/25/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CREATIS CAPITAL LLC
CREATIS CAPITAL LLC | THE GEMINI SECURITIES GROUP LLC | NORTHWINDS ADVISORS LLC

CRD#: 131986 / SEC#: , 8-66533

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
23 Salt Spray Lane, Cape Elizabeth, ME 04107
Mailing Address
23 Salt Spray Lane, Cape Elizabeth, ME 04107
Phone number
(646) 535-0328
Established
Illinois since 07/18/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CREATIS LLCDIRECT OWNER
BOHLMANN, MICHAEL MAXIMCEO & CHIEF COMPLIANCE OFFICER4219731
NIXON, JON ALANFINOP4710715

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CREATIS CAPITAL LLC

CRD#: 131986Cape Elizabeth, ME 04107

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